Chief Compliance Officer
Mr. Ucciferri began his affiliation with EdgeLine Capital Partners in 2009 as their outside broker dealer compliance officer. In 2010, EdgeLine Capital established its own broker dealer. At that time and currently, Mr. Ucciferri is the Chief Compliance Officer and Operations Principal for EdgeLine Capital. He oversees the firm’s compliance, regulatory, and financial reporting obligations, which include supervising the firm’s sales and marketing activities, maintaining the proper licensing and registrations for the firm in each jurisdiction it does business, monitoring and complying with the ever changing rules and regulations related to proper placement agent disclosures and activities, administering the firm’s continuing education and compliance duties, preparing each of the firm’s monthly, quarterly, and annual filings with the various state and regulatory bodies, both foreign and domestic, and overseeing all the firm’s financial and regulatory audit activities.
Mr. Ucciferri has held senior management positions in the securities industry for almost 30 years and his previous experience includes compliance, due diligence, deal structuring, private placements, sales supervision, distribution, regulatory and financial reporting, and day to day administration. Previously, Mr. Ucciferri was the owner and CEO of Regent Capital Group, an independent broker dealer. He began his career in 1984 at Dean Witter Reynolds, moving to Fidelity Investments in 1986, where he managed the firm’s retail trading operation in Boston. In 1989, he joined Commonwealth Financial Network, one of the largest independent broker dealers in the US, as VP of Operations, where he established the firm’s equity trading desk and ran the firm’s day to day operations. Mr. Ucciferri holds the FINRA Series 4, 7, 24, 27, 53, 63, 79, and 99 licenses. He is a graduate of Stanford University with bachelors’ degrees in both Economics and Sociology and is fluent in Italian and conversational in French. Mr. Ucciferri is married with two children and lives in Keller, Texas.